Our attorneys have directed and prevailed in some of the most complex securities matters in the industry over the past several years. Our experience is cutting-edge, and our lean firm size allows us to act both efficiently and nimbly to either recover monies for our clients or to defend them in precarious situations. While skilled in court, our attorneys also have significant out-of-court expertise with related matters. We have deep experience in dealing with both governmental and internal investigations related to accounting issues, product issues, and other scenarios giving rise to securities reporting concerns.
Suing Your Financial Broker for Breach of Fiduciary Duty
Financial brokers have a significant amount of responsibility for other people’s assets. It is both expected and required that their integrity and honesty will match that level of responsibility. Kagen, Caspersen & Bogart PLLC has substantial experience and skill in recovering money for investors who have relied on brokers who have, for a variety of reasons, breach their duties to their customers and caused them to suffer significant financial losses. Kagen, Caspersen & Bogart PLLC attorneys are very familiar with laws and regulations covering brokers and making them responsible for misconduct, including the Investment Advisors Act of 1940. If you have concerns about your broker, you should contact us.
Here are some of the outcomes our lawyers have achieved for our clients:
- Recovered sizable amounts for investors involved in MBS-related class actions in federal court.
- Obtained million dollar recoveries for individual investors in companies whose operation was outside of the United States— before a lawsuit was even filed.
- Obtained confidential amounts for hedge funds involved in complex derivative trades with major investment banks as counterparts.
- Represented an investor in a $30 million M&A litigation in Illinois over the sale of a telecommunications company.
These are some of the outcomes we have achieved for our defendant clients:
- Defended company executives against claims of securities fraud involved in the promotion, manufacturing, and marketing of technology in the mobile telephone industry.
- Advised a prominent seller of private securities with regard to issues arising from certain of its sales transactions.
- Defended company executives against securities fraud claims in a major federal class action in California and New York involving Ethernet, cable and DSL related communications.